As per published in Financial Industry Regulatory Authority (FINRA) disciplinary actions November 2010, Roger Howard Garrett submitted a Letter of Acceptance, Waiver and Consent in which he was fined $9,000, which includes disgorgement of commissions, and suspended from association with any FINRA member in any capacity for four months.

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As per published in Financial Industry Regulatory Authority (FINRA) disciplinary actions November 2010, Conrad Lee Fitzwater submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,000, which includes disgorgement of commissions, and suspended from association with any FINRA member in any capacity for four months.

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As per published in Financial Industry Regulatory Authority (FINRA) disciplinary actions November 2010, Philip Rene Deroziere submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Deroziere consented to the described sanction and to the entry of findings that he converted $10,000 from his member firm by endorsing and depositing a check made payable to the firm into his personal bank account without the firm’s knowledge or permission.

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As per published in Financial Industry Regulatory Authority (FINRA) disciplinary actions November 2010, Albert Frederick Carlton Burgess submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days.

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As per published in Monetary Authority of Singapore (MAS) on 23rd November 2010 that On 17 September 2010, Mr Cheong Soon Huat paid a composition amount of $15,000 for contravening sections 82 and 83 of the Securities and Futures Act. Mr Cheong held himself out to be carrying on business in leveraged foreign exchange trading under the name EmpireFX1 Holding Pte Ltd without the requisite capital markets services (“CMS”) licence in 2009. He also acted as a representative of an unlicensed foreign company and conducted business in the same regulated activity between February and April 2009, without the requisite CMS representative’s licence.

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As published in Financial Services Authority (FSA) on 25th November 2010 that Five individuals, including two former directors and one former senior trader of Blue Index Limited (Blue Index), a specialist Contract for Difference (CFD) brokerage, have been charged by the FSA with 17 counts of insider dealing, contrary to section 52 of the Criminal Justice Act 1993.

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As published in Hong Kong Securities and Futures Commission on 25th November 2010 that the Eastern Magistracy convicted Ms Lee Chi Ying of carrying on a business of dealing in securities without being licensed by the Securities and Futures Commission (SFC).

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As published in Hong Kong Securities and Futures Commission on 25th November 2010 that criminal proceedings against Mr Li Jialin, chairman and executive director of VST Holdings Limited (VST), for manipulative trading in the shares of VST and breaching the disclosure of interest requirements have been transferred to the District Court

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As published in Stock Exchange Of Hong Kong on October 28, 2010 that it censures Mongolia Energy Corporation Limited, Mr Lo Lin Shing Sim and Ms Yvette Ong for breaching the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited.

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On November 18, 2010 Alabama Securities Commission (ASC) published that Robert L. Broussard, District Attorney for the 23rd Judicial Circuit, Madison County, Alabama; and, Joseph P. Borg, Director of the Alabama Securities Commission (ASC), announce that Patrick Michael Daleiden, 42, whose last known address was Satellite Beach, Florida, turned himself in to the Madison County Sheriff’s Department and was arrested on Nov. 1, 2010 for alleged violations of the Alabama Securities Act.

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On November 17, 2010 Alabama Securities Commission (ASC) published that Ellen I Brooks, District Attorney for the 15th Judicial Circuit, Montgomery County, Alabama; and, Joseph P. Borg, Director of the Alabama Securities Commission (ASC), announce that Frederick Tayton Dencer, a Tarzana, California resident, turned himself in to the Montgomery County, Alabama Sheriff’s Department on Nov. 10, 2010 and was arrested for alleged violations of the Alabama Securities Act.

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On November 15, 2010 Alabama Securities Commission (ASC) published that Randall V. Houston, District Attorney for the 19th Judicial Circuit, Autauga County, Alabama; and, Joseph P. Borg, Director of the Alabama Securities Commission (ASC), announce the indictment and arrest of Jack Deck Weight, III, 26, a resident of Cecil County, Maryland and former Prattville, Alabama resident, for alleged violations of the Alabama Securities Act. Weight was arrested by Autauga County Sheriff’s Department personnel and bond was set at $120,000.

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As per published in Karachi Stock Exchange (KSE) notice dated November 16, 2010, exchange has cancelled the agentship of Zulfiqar Hyder Khan, in accordance with the relevant rules and procedure of the Exchange.

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As per published in Karachi Stock Exchange (KSE) notice dated November 16, 2010, exchange has cancelled the agentship of Mohammad Danish Chapla, in accordance with the relevant rules and procedure of the Exchange.

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As published in U.S. Commodity Futures Trading Commission (CFTC) press release dated November 24, 2010, the commission charged System Capital, LLC of Lake Oswego, Ore., a registered Commodity Trading Advisor, and its founder and principal, Joshua Wallace of Tigard, Ore., a registered Associated Person, with solicitation fraud and making false statements to the National Futures Association (NFA). The CFTC complaint, filed in the U.S. District Court for the Southern District of New York, alleges that System Capital and Wallace fraudulently solicited customers to trade commodity futures contracts by using a fabricated trading history and making false claims concerning the profitability of their commodity futures trading business and the amount of assets under management.

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